Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

ISS Policy Application Survey Highlights Director Pay and Gender Pay Gap

Executive Compensation, Public Companies and Securities This year ISS conducted two surveys. One was a high-level survey covering a small number of fundamental and high-profile topics.  We reported the results here.  ISS has now announced the results of a second, more expansive and geographically diverse Policy Application survey.  ISS highlighted the following results 2017 Policy Application survey for US issuers: Director […] Read more →

by   |   October 19, 2017

NASDAQ Company Discusses Plan for Initial Coin Offering

Public Companies and Securities Social Reality, Inc. (NASDAQ:SRAX) discussed its plans for an initial coin offering with analysts on October 17, 2017. Its stock closed up 70% on the news. It works something like... Read more →

by   |   October 17, 2017

New SEC C&DIs on Non-GAAP Financial Measures for Business Combinations

M&A, Public Companies and Securities The SEC staff has issued two new Compliance and Disclosure Interpretations, or CD&Is, on non-GAAP financial measures in the context of business combinations. In the first... Read more →

by   |   October 17, 2017

SEC Fines Director $25,000 for Two Missed Section 16 Filings

Public Companies and Securities In a settled enforcement action, the SEC assessed a civil money penalty against a director of Medient Studios, Inc. for two missed Section 16 filings. But there was really only... Read more →

by   |   October 13, 2017